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SEC Adopts Private Fund Rules
SEC Releases Brief Introduction As recently predicted, the SEC announced on August 23rd its adoption of new rules for Private Funds and Private Fund Advisers. There are some significant […]
Read More11 Firms Charged by the SEC for Recordkeeping Failures
SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with widespread recordkeeping failures totaling combined penalties […]
Read MorePrivate Equity Fund Adviser Charged for Fee Disclosure Failures and Overcharging
SEC Releases Brief Introduction On June 20th, the SEC charged a New York Investment Adviser for excessive management fees and failure to disclose conflicts of interest. The Firm agreed […]
Read MoreSEC Places 37 New Rules in Final Stage as part of its Spring Agenda
SEC Releases Brief Introduction The SEC has announced its Spring 2023 Regulatory Agenda. SEC Chairman, Gary Gensler, explains the regulatory goals as focusing on a three-part mission to protect […]
Read MoreNew SEC Risk Alert on the Marketing Rule
SEC Releases Brief Introduction In an increasingly aggressive regulatory environment, many compliance professionals are erring on the side of caution when interacting with the new Marketing […]
Read MoreCybersecurity Investor Protection | SEC Commissioner Update
SEC Releases Brief Introduction SEC Commissioner, Jaime Lizarrage, spoke at the Digital Directs Network on May 16th. He discussed how the SEC is pushing for all market actors […]
Read MoreSEC Continues Heightened Focus on Recordkeeping Failures
SEC Releases Brief Introduction On May 11th, two Broker Dealer Firms were charged by the SEC for “widespread and longstanding failures” relating to SEC recordkeeping requirements, specifically […]
Read MoreFirst Charges Ever Filed by the SEC for Liquidity Requirement Violations
SEC Releases Brief Introduction On May 5th, the SEC charged a Firm $476,000 in disgorgement and civil penalties for aiding and abetting Liquidity Rule Violations by a Mutual Fund […]
Read MoreGensler Defends SEC Private Fund Proposals at MFA Forum
News and Alerts Brief Introduction SEC Chairman, Gary Gensler, spoke in front of the Managed Funds Association (“MFA”) about the reasoning behind the multiple SEC proposals affecting […]
Read MoreSEC Adopts Amendments to Form PF
SEC Releases Brief Introduction As “hinted” by SEC Chairman, Gary Gensler, at the MFA Conference recently, the SEC announced on May 3rd that the Proposed Amendments to Form […]
Read MoreReg BI | SEC Releases Bulletin for RIAs and BDs
SEC Releases Brief Introduction Last week, the SEC released a bulletin explaining the standards of conduct for Registered Investment Advisers (“RIAs”) and Broker Dealers (“BDs”) under Reg BI […]
Read MoreSEC Chairman’s Congressional Testimony | Key Takeaways
SEC Releases Brief Introduction On April 18th, SEC Chairman, Gary Gensler, gave testimony to the House of Representatives Committee on Financial Services. His testimony covered many topics […]
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